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Bradford Bugher Embroiled in Investor Dispute for Allegedly Failing to Follow Instructions

Jan 20, 2022 Investor Disputes

Bradford Bugher (CRD #:2314651), a broker and investment advisor registered with Merrill Lynch, Pierce, Fenner & Smith is involved in an investor dispute, according to his BrokerCheck record, accessed on December 26, 2021. This is Bradford Bugher’s third investor dispute. 

According to the allegations filed on November 4, 2021, Bradford Bugher failed to follow his client’s instructions. The case is still pending. Bradford Bugher was involved in a similar dispute on December 19, 2018; however, the case was denied.  

It is the duty of a broker to perform a customer’s orders promptly in a manner best suited to serve the customer’s best interest. Failure to follow customer instructions, both as directed and promptly, violates FINRA Rule 2010, which requires all registered members to observe high standards of commercial honor and just principles in their business dealings.  

When a broker fails to follow your instruction and/or execute your order in a timely manner, you may be able to recover your investment losses resulting from the failure to follow your instructions. 

Misrepresentation Allegations 

On September 4, 2018, Bradford Bugher was involved in an investor dispute alleging misrepresentation, from December 26, 2003, until December 22, 2016. The case was, however, denied. Investors should know that they can still pursue FINRA arbitration and recover their losses following a denial. 

Background Information 

Bradford Bugher has passed the following exams: 

  • Series 65 – Uniform Investment Adviser Law Examination 
  • Series 63 – Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 – General Securities Representative Examination 

Bradford Bugher is a registered broker in 31 states. He is also a registered investment advisor in Texas and Delaware. 

Besides Merrill Lynch, Pierce, Fenner & Smith Incorporated, Bradford Bugher has not worked with any other firm. 

Kurta Law Can Help 

If you have worked with Bradford Bugher and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.